OpenLegislation

Regulation 56 Interview of an officer during investigations

Original text. Later amendments are not shown.

(1)

Paragraph (2) prescribes the procedure to be followed in connection with an interview which—

(a)

is held with an officer during the course of the investigation by the person investigating; and

(b)

does not fall within regulation 54.

(2)

Where the person investigating wishes to interview an officer as part of an investigation, the person investigating must—

(a)

give written notice to that officer that the interview will take place in accordance with this regulation; and

(b)

if reasonably practicable, agree a date and time for the interview.

(3)

Where no date and time is agreed under paragraph (2), the person investigating must specify a date and time for the interview.

(4)

Where a date and time is specified under paragraph (3) and—

(a)

the relevant officer or the accompanying person will not be available at that time; and

(b)

the relevant officer proposes an alternative time which satisfies paragraph (5),

the interview must be postponed to the time proposed by the relevant officer.

(5)

An alternative time proposed by the relevant officer must—

(a)

be reasonable; and

(b)

fall before the end of the period of 5 working days starting with the first working day after the day specified by the person investigating.

(6)

The person investigating must, in advance of the interview, give the relevant officer—

(a)

a notice stating the date, time and place of the interview;

(b)

such information as the person investigating considers appropriate in the circumstances of the case to enable the relevant officer to prepare for the interview.

(7)

The relevant officer must attend the interview.

(8)

An accompanying person may accompany the relevant officer to the interview under this regulation, and—

(a)

during, and in relation to, the interview may—

(i)

advise the relevant officer;

(ii)

provide any relevant statement or relevant document to the person investigating; but

(b)

may not answer any questions asked of the relevant officer during the interview.

(9)

Where an accompanying person is an officer, the chief executive must permit the accompanying person to use a reasonable amount of contractual working time for the purposes of this regulation.

(10)

Nothing in this regulation applies to an interview of any person—

(a)

in relation to an investigation of a complaint, in respect of which it appears to the person investigating that there is an indication that the person to whose conduct the investigation relates may have—

(i)

committed a criminal offence; or

(ii)

behaved in a manner which would justify the bringing of disciplinary proceedings; or

(b)

in relation to an investigation of a recordable conduct matter, to whose conduct the investigation relates.

(11)

Nothing in this regulation prevents or restricts the holding of interviews to which this regulation does not apply during the course of any investigation under these Regulations.

(12)

In this regulation—

  • “accompanying person” means a person who is—

    1. (a)

      an officer or a member of the FSA’s staff or an official of a trade union;

    2. (b)

      nominated by the relevant officer; and

    3. (c)

      not otherwise involved in the matter;

  • “relevant officer” means an officer given notice under paragraph (2)(a).